Job Description:
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Compliance Manager
Long Island, NY
$150K
We are seeking a Compliance Manager to oversee and manage the US compliance function as well as our full time professionals devoted to this area for a leading Asset management fund. In this role you will administer the compliance program oversight of the firm, ensuring adherence to the Personal Securities Trading Policy as well as our Fund Compliance Manual. Other responsibilities include:
Administer Compliance training to the staff (in-person and written)
Oversee the successful operation of the AML program (including signoff on investor subscription agreements)
Liaise with Risk and Compliance staff on various projects
Serve as CCO for Registered Fund
Oversee and manage the licensing of salespeople and FINRA compliance for non-supervisory branch offices
Ensure timely filings and compliance with regulatory requirements
Review fund and client account activity to detect any potential compliance issues
Oversee and manage regulatory exams as well as periodic internal audits
Advise management and staff of potential issues and provide alternative solutions
Oversee and manage the approval process for new products and marketing, advertising, and communications materials to ensure compliance with regulatory requirements
Prepare documentation and respond to internal and/or external compliance questions
Requirements:
Bachelor’s Degree (Graduate degree, law degree preferred).
CPA is a plus
Minimum of 5 years in compliance position
Staff management experience
Knowledge of and experience with the Investment Advisers Act
Proven leadership abilities
Able to multi-task and work both within a team environment and independently
Our client is a leading international banking and finance company. This position is located at one of their subsidiaries. Qualified candidates will be contacted immediately.
There is no relocation package offered. Preference will be given to candidates who have experience working with investment funds.
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